Transatlantique Private Wealth
Royaume-Uni

Transatlantique Private Wealth (UK) Limited (TPW) is registered in England and Wales under company number 14434611. Registered Address : Finsbury Circus House, 15 Finsbury Circus, London, United Kingdom, EC2M 7EB. Authorised and regulated by the Financial Conduct Authority. Details regarding the scope of TPW regulatory permission given by the Financial Conduct Authority are available online through the FCA’s Financial Services Register.

Please contact TPW team who will provide you with our Terms & Conditions : info@tpw.uk

Our Complaints procedure

If we do not deliver the standard of service you expect or if we make a mistake, please let us know as soon as possible and try to put matters right as quickly as possible and take steps to avoid a recurrence. If you remain dissatisfied and wish to make a complaint this leaflet gives you all the information you need on how to do so. Also, at any time, our staff will help you with any questions you have.

If you want to complain

You can contact your Relationship Manager or our Complaints Manager directly by calling our office on +44 (0) 203 618 9750 between 9am and 5pm on weekdays.

If you prefer to visit us or to write your complaint, you can find us at
Finsbury Circus House
15 Finsbury Circus
London EC2M 7EB
Or email us to compliance@tpwlondon.com
For us to address your complaint as quickly as possible, please include in your letter/email :
As much detail regarding your complaint as you can
Any specific action you believe we should take to resolve the matter to your satisfaction
A telephone number and best time to contact you so that we can acknowledge receipt of your complaint and be able to swiftly request any additional detail required to resolve the matter.

How we will handle your complaint

Even though we have an obligation to resolve complaints in eight weeks we will try to do so as quickly as possible and before such deadline.
If we are unable to resolve your complaint within three working days our Complaints Manager will contact you in writing to give you an update and let you know when you can expect a full response from us.
Once the complaint has been investigated, we will issue a Final Response to your complaint.

If you are still not happy

If we are unable to resolve your complaint, you may contact the Financial Ombudsman Service that offers an independent review service :
Financial Ombudsman Service
Exchange Tower
London E14 9SR
Telephone : 0800 023 4567 or 0300 123 9 123
From outside the UK : +44 20 7964 0500
Email : complaint.info@financial-ombudsman.org.uk
Website : www.financial-ombudsman.org.uk

This privacy notice explains why and how we process the personal data of our clients and prospective clients (referred to in this document as “you” or “your”). Personal data processed by the Crédit Mutuel Alliance Fédérale Group (Group) (including in respect to the Group’s website) is covered by the Group’s privacy notice available at Personal Data Protection Policy | Transatlantic Bank.

This privacy notice was updated in August 2025 and supersedes any previous privacy notice or similar terms provided by, or on behalf of, TPW in connection with the services we provide to you.

Contact us

TPW has appointed a Data Protection Officer who can be contacted by writing to : the Data Protection Officer, Finsbury Circus House, 15 Finsbury Circus, EC2M 7EB London (email : compliance@tpw.uk).

If you have any comments or questions about how we process your personal data, you can contact us by writing to our DPO using the details provided above.

How we collect your personal data

We collect and process your personal data in various ways, principally :

• when you communicate with us by post, email, telephone or via the website, for example when you contact us to request information about our services ;
• when you ask us to provide services to you and provide us with your personal data in application forms for investment advice and arranging services (and in accompanying identification documents) ;
• from third parties and publicly available sources, for example when we carry out due diligence checks on you before we can accept you as a client ;
• where you expressly authorise us to view bank accounts that you may hold within our Group for the purpose of providing investment advice ;
• from third party introducers or other intermediaries, and from your agents and representatives, where they are interacting with us on your behalf ; and
• in other ways as you interact with us during your time as our client, for example when you meet with us or when we exchange formal correspondence and other communications with you.

The categories of personal data we collect

We may collect the following types of personal data about you :

• Contact information, including your name, address, email address and telephone number ;
• Identification and due diligence information, including your date and place of birth, gender, nationality, passport information, proof of address, national insurance number (or other tax identification number), a sample of your signature and due diligence information such as the results of anti-money laundering and ‘know your client’ background checks ;
• Financial and wealth related information, including bank account details and information relating to your financial situation such as your assets, net worth, income, source of wealth and your investment objectives ;
• Information relating to our services that you subscribe to, including the type of services, your use of our services, and transaction data ;
• Correspondence and interactions, including information in written correspondence, recordings of telephone calls and other electronic communications ;
• We may also collect special categories of personal data, including more sensitive personal data, such as data relating to criminal convictions and offences, where relevant for the purposes set out below. We may also process data concerning your health in accordance with our legal obligations in assessing client capacity to make financial decisions.

The legal grounds and purposes for processing your personal data

We may process your personal data because it is necessary for the performance of a contract with you or in order to take steps at your request prior to entering into a contract. In this respect, we may use your personal data :

• to interact with you before you become our client, for example when you express your interest in our services (for example, to send you a proposal or answer enquiries about our services) ;
• once you have engaged us and become our client, to provide you with the services as set out in our terms of business or any other contractual document between you and us ;
• corresponding and interacting with you (or others acting on your behalf) about our services and dealing with any concerns or feedback you may have ; and
• maintaining records of your instructions, our advice and the arrangements made on your behalf in relation to our services.

We may also process your personal data for our compliance with our legal obligations. In this respect, we may use your personal data :

• to confirm your identity and carry out due diligence checks, including to confirm your source of wealth for anti-money laundering and 'know your client' purposes ;
• to fulfil our tax reporting obligations, principally to HM Revenue and Customs but including under any reporting agreement entered into with a tax authority or revenue service from time to time ; and
• to meet our other compliance and regulatory obligations, including in order to comply with any requirement of any applicable statute, regulation or regulatory rule to which we are subject (for example, we are required to record telephone calls and other electronic communications which relate to or are intended to lead to the conclusion of a financial transaction).

We may also process your personal data because it is necessary for our or a third party's legitimate interests. Our "legitimate interests" include our commercial interests in operating our business in a client-focused, efficient and sustainable manner, in accordance with all applicable legal and regulatory requirements. In this respect, we may use your personal data :

• to assess the information that you provide to us through email, telephone or the Group’s website, and to find out more about you before contacting you in response, where appropriate ;
• to monitor and evaluate the performance and effectiveness of our services ;
• outsourcing selected functions to third parties (for example, suppliers of hosted software solutions or cloud storage providers) for the purposes of efficient, fast and secure access to data ; and
• for our marketing purposes, including in order to keep you informed (by letter, telephone, and email) of our investment insights, news updates or events which may be of interest to you (unless it is appropriate for us to have obtained your consent for such purposes).

Note : If you do not wish to receive such marketing information, please let us know now or at any time in the future, and your details will be removed from our mailing list(s).

We may also process your personal data where :

• it is necessary for reasons of substantial public interest (for example, where the due diligence checks we carry out involve our processing data relating to criminal convictions and offences and we do not ask your consent because to do so might lead to a 'tipping off' offence under anti-money laundering legislation) ;
• it is necessary for the establishment, exercise or defence of legal claims (for example, to protect and defend our rights or property, and/or the rights or property of our clients, or of third parties, or in connection to the duty of care that we owe to our clients) ; and
• we have your specific or, where necessary, explicit consent to do so.

When your personal data may be shared with others

In order to provide our services to you, we may disclose your personal data :

• to other organisations including those in the Group or a custodian that you appoint to hold your investments ;
• to other third 'data processors' we may engage to perform, or assist in the performance of, our services or to advise us, for example agencies we engage to perform anti-money laundering checks on our clients and prospective clients, where relevant ;
• to any third party that you have granted power of attorney or which is nominated as a guarantor ;
• to your agents and representatives, where they are interacting with us on your behalf (for example, brokers and custodians of your assets) ; and
• in circumstances where we are required or authorised by law (including applicable data protection laws), court order, regulatory or governmental authorities to disclose your personal data.

Transferring your personal data overseas

Where relevant for your services, your personal data may be transferred to and processed outside of the UK and/or the European Economic Area ("EEA") in countries or territories that do not provide the same level of protection for personal data as the UK and the EEA dœs. Where this happens, we will put in place appropriate measures to ensure the adequate protection of your personal data when it is transferred outside of the UK and/or the EEA, as required by the GDPR.

In these circumstances, your personal data will only be transferred on one of the following grounds :

• the country or territory to which the transfer is made ensures an adequate level of protection for personal data (and such country or territory has been awarded an ‘adequacy decision’ by the UK Secretary of State) ;
• TFW and the recipient of the personal data outside the UK / the EEA have signed a form of model data protection clauses (standard contractual clauses) approved by the European Commission or the model international data transfer agreement approved by the UK Information Commissioner’s Office ;
• The recipient has certified to the UK extension to the EU-US data protection framework ;
• there exists another situation where the transfer is permitted under applicable law (for example, where we have your explicit consent to make the transfer).

You can obtain more details of the protection given to your personal data when it is transferred outside the UK and/or the EEA by contacting us using the details set out above.

How long your personal data is kept

We will retain your personal data for as long as we are providing you with the services referred to in any relevant terms of business or any other contractual document, and for as long as permitted or required for legal and regulatory purposes after the relationship between you and us has ended, or if your application for a particular service or services is declined or abandoned.

Subject to any other notices that we may provide to you, we will typically retain your information for up to 11 years after the end of the relationship or operation. For prospects, your data may be kept for a period of 3 years from the date of collection or the last contact with you.

However, some information may be retained for longer than this, for example where we need to retain it for the purposes of legal claims or for compliance with particular directions, instructions or rules made by a competent regulatory authority.

Your rights in relation to your personal data

Under the GDPR, you have the following rights in relation to our processing of your personal data. Please note that these rights are not absolute, and we may be entitled (or required) to refuse requests where exceptions apply :

• to obtain access to, and copies of, the personal data that we hold about you ;
• to require us to correct the personal data we hold about you if it is incorrect ;
• to require us to erase your personal data in certain circumstances ;
• to require us to restrict our data processing activities in certain circumstances ;
• to object, on grounds relating to your particular situation, to any of our particular processing activities where you feel this has a disproportionate impact on you ;
• to receive from us the personal data we hold about you which you have provided to us, in a reasonable format specified by you, including for the purpose of you transmitting that personal data to another data controller (including another investment services firm) ; and
• where our processing is based on your consent, you may withdraw that consent, without affecting the lawfulness of our processing based on consent before its withdrawal.

Note : If you have given your consent and you wish to withdraw it, please contact us using the contact details as set out above. Please note that where our processing of your personal data relies on your consent and where you then withdraw that consent, we may not be able to provide all or some aspects of our services to you and/or it may affect the provision of those services.

If you are not satisfied with how we are processing your personal data, you can raise a concern with the Information Commissioner. You can also find out more about your rights under data protection legislation from the Information Commissioner's Office website available at : www.ico.org.uk.

Transatlantique Private Wealth (UK) Limited (TPW) is registered in England and Wales under company number 14434611. Registered Address : Finsbury Circus House, 15 Finsbury Circus, London, United Kingdom, EC2M 7EB. Authorised and regulated by the Financial Conduct Authority. Details regarding the scope of TPW regulatory permission given by the Financial Conduct Authority are available online through the FCA’s Financial Services Register.

Please contact TPW team who will provide you with our Terms & Conditions : info@tpw.uk

Our Complaints procedure

If we do not deliver the standard of service you expect or if we make a mistake, please let us know as soon as possible and try to put matters right as quickly as possible and take steps to avoid a recurrence. If you remain dissatisfied and wish to make a complaint this leaflet gives you all the information you need on how to do so. Also, at any time, our staff will help you with any questions you have.

If you want to complain

You can contact your Relationship Manager or our Complaints Manager directly by calling our office on +44 (0) 203 618 9750 between 9am and 5pm on weekdays.

If you prefer to visit us or to write your complaint, you can find us at
Finsbury Circus House
15 Finsbury Circus
London EC2M 7EB
Or email us to compliance@tpwlondon.com
For us to address your complaint as quickly as possible, please include in your letter/email :
As much detail regarding your complaint as you can
Any specific action you believe we should take to resolve the matter to your satisfaction
A telephone number and best time to contact you so that we can acknowledge receipt of your complaint and be able to swiftly request any additional detail required to resolve the matter.

How we will handle your complaint

Even though we have an obligation to resolve complaints in eight weeks we will try to do so as quickly as possible and before such deadline.
If we are unable to resolve your complaint within three working days our Complaints Manager will contact you in writing to give you an update and let you know when you can expect a full response from us.
Once the complaint has been investigated, we will issue a Final Response to your complaint.

If you are still not happy

If we are unable to resolve your complaint, you may contact the Financial Ombudsman Service that offers an independent review service :
Financial Ombudsman Service
Exchange Tower
London E14 9SR
Telephone : 0800 023 4567 or 0300 123 9 123
From outside the UK : +44 20 7964 0500
Email : complaint.info@financial-ombudsman.org.uk
Website : www.financial-ombudsman.org.uk

This privacy notice explains why and how we process the personal data of our clients and prospective clients (referred to in this document as “you” or “your”). Personal data processed by the Crédit Mutuel Alliance Fédérale Group (Group) (including in respect to the Group’s website) is covered by the Group’s privacy notice available at Personal Data Protection Policy | Transatlantic Bank.

This privacy notice was updated in August 2025 and supersedes any previous privacy notice or similar terms provided by, or on behalf of, TPW in connection with the services we provide to you.

Contact us

TPW has appointed a Data Protection Officer who can be contacted by writing to : the Data Protection Officer, Finsbury Circus House, 15 Finsbury Circus, EC2M 7EB London (email : compliance@tpw.uk).

If you have any comments or questions about how we process your personal data, you can contact us by writing to our DPO using the details provided above.

How we collect your personal data

We collect and process your personal data in various ways, principally :

• when you communicate with us by post, email, telephone or via the website, for example when you contact us to request information about our services ;
• when you ask us to provide services to you and provide us with your personal data in application forms for investment advice and arranging services (and in accompanying identification documents) ;
• from third parties and publicly available sources, for example when we carry out due diligence checks on you before we can accept you as a client ;
• where you expressly authorise us to view bank accounts that you may hold within our Group for the purpose of providing investment advice ;
• from third party introducers or other intermediaries, and from your agents and representatives, where they are interacting with us on your behalf ; and
• in other ways as you interact with us during your time as our client, for example when you meet with us or when we exchange formal correspondence and other communications with you.

The categories of personal data we collect

We may collect the following types of personal data about you :

• Contact information, including your name, address, email address and telephone number ;
• Identification and due diligence information, including your date and place of birth, gender, nationality, passport information, proof of address, national insurance number (or other tax identification number), a sample of your signature and due diligence information such as the results of anti-money laundering and ‘know your client’ background checks ;
• Financial and wealth related information, including bank account details and information relating to your financial situation such as your assets, net worth, income, source of wealth and your investment objectives ;
• Information relating to our services that you subscribe to, including the type of services, your use of our services, and transaction data ;
• Correspondence and interactions, including information in written correspondence, recordings of telephone calls and other electronic communications ;
• We may also collect special categories of personal data, including more sensitive personal data, such as data relating to criminal convictions and offences, where relevant for the purposes set out below. We may also process data concerning your health in accordance with our legal obligations in assessing client capacity to make financial decisions.

The legal grounds and purposes for processing your personal data

We may process your personal data because it is necessary for the performance of a contract with you or in order to take steps at your request prior to entering into a contract. In this respect, we may use your personal data :

• to interact with you before you become our client, for example when you express your interest in our services (for example, to send you a proposal or answer enquiries about our services) ;
• once you have engaged us and become our client, to provide you with the services as set out in our terms of business or any other contractual document between you and us ;
• corresponding and interacting with you (or others acting on your behalf) about our services and dealing with any concerns or feedback you may have ; and
• maintaining records of your instructions, our advice and the arrangements made on your behalf in relation to our services.

We may also process your personal data for our compliance with our legal obligations. In this respect, we may use your personal data :

• to confirm your identity and carry out due diligence checks, including to confirm your source of wealth for anti-money laundering and 'know your client' purposes ;
• to fulfil our tax reporting obligations, principally to HM Revenue and Customs but including under any reporting agreement entered into with a tax authority or revenue service from time to time ; and
• to meet our other compliance and regulatory obligations, including in order to comply with any requirement of any applicable statute, regulation or regulatory rule to which we are subject (for example, we are required to record telephone calls and other electronic communications which relate to or are intended to lead to the conclusion of a financial transaction).

We may also process your personal data because it is necessary for our or a third party's legitimate interests. Our "legitimate interests" include our commercial interests in operating our business in a client-focused, efficient and sustainable manner, in accordance with all applicable legal and regulatory requirements. In this respect, we may use your personal data :

• to assess the information that you provide to us through email, telephone or the Group’s website, and to find out more about you before contacting you in response, where appropriate ;
• to monitor and evaluate the performance and effectiveness of our services ;
• outsourcing selected functions to third parties (for example, suppliers of hosted software solutions or cloud storage providers) for the purposes of efficient, fast and secure access to data ; and
• for our marketing purposes, including in order to keep you informed (by letter, telephone, and email) of our investment insights, news updates or events which may be of interest to you (unless it is appropriate for us to have obtained your consent for such purposes).

Note : If you do not wish to receive such marketing information, please let us know now or at any time in the future, and your details will be removed from our mailing list(s).

We may also process your personal data where :

• it is necessary for reasons of substantial public interest (for example, where the due diligence checks we carry out involve our processing data relating to criminal convictions and offences and we do not ask your consent because to do so might lead to a 'tipping off' offence under anti-money laundering legislation) ;
• it is necessary for the establishment, exercise or defence of legal claims (for example, to protect and defend our rights or property, and/or the rights or property of our clients, or of third parties, or in connection to the duty of care that we owe to our clients) ; and
• we have your specific or, where necessary, explicit consent to do so.

When your personal data may be shared with others

In order to provide our services to you, we may disclose your personal data :

• to other organisations including those in the Group or a custodian that you appoint to hold your investments ;
• to other third 'data processors' we may engage to perform, or assist in the performance of, our services or to advise us, for example agencies we engage to perform anti-money laundering checks on our clients and prospective clients, where relevant ;
• to any third party that you have granted power of attorney or which is nominated as a guarantor ;
• to your agents and representatives, where they are interacting with us on your behalf (for example, brokers and custodians of your assets) ; and
• in circumstances where we are required or authorised by law (including applicable data protection laws), court order, regulatory or governmental authorities to disclose your personal data.

Transferring your personal data overseas

Where relevant for your services, your personal data may be transferred to and processed outside of the UK and/or the European Economic Area ("EEA") in countries or territories that do not provide the same level of protection for personal data as the UK and the EEA dœs. Where this happens, we will put in place appropriate measures to ensure the adequate protection of your personal data when it is transferred outside of the UK and/or the EEA, as required by the GDPR.

In these circumstances, your personal data will only be transferred on one of the following grounds :

• the country or territory to which the transfer is made ensures an adequate level of protection for personal data (and such country or territory has been awarded an ‘adequacy decision’ by the UK Secretary of State) ;
• TFW and the recipient of the personal data outside the UK / the EEA have signed a form of model data protection clauses (standard contractual clauses) approved by the European Commission or the model international data transfer agreement approved by the UK Information Commissioner’s Office ;
• The recipient has certified to the UK extension to the EU-US data protection framework ;
• there exists another situation where the transfer is permitted under applicable law (for example, where we have your explicit consent to make the transfer).

You can obtain more details of the protection given to your personal data when it is transferred outside the UK and/or the EEA by contacting us using the details set out above.

How long your personal data is kept

We will retain your personal data for as long as we are providing you with the services referred to in any relevant terms of business or any other contractual document, and for as long as permitted or required for legal and regulatory purposes after the relationship between you and us has ended, or if your application for a particular service or services is declined or abandoned.

Subject to any other notices that we may provide to you, we will typically retain your information for up to 11 years after the end of the relationship or operation. For prospects, your data may be kept for a period of 3 years from the date of collection or the last contact with you.

However, some information may be retained for longer than this, for example where we need to retain it for the purposes of legal claims or for compliance with particular directions, instructions or rules made by a competent regulatory authority.

Your rights in relation to your personal data

Under the GDPR, you have the following rights in relation to our processing of your personal data. Please note that these rights are not absolute, and we may be entitled (or required) to refuse requests where exceptions apply :

• to obtain access to, and copies of, the personal data that we hold about you ;
• to require us to correct the personal data we hold about you if it is incorrect ;
• to require us to erase your personal data in certain circumstances ;
• to require us to restrict our data processing activities in certain circumstances ;
• to object, on grounds relating to your particular situation, to any of our particular processing activities where you feel this has a disproportionate impact on you ;
• to receive from us the personal data we hold about you which you have provided to us, in a reasonable format specified by you, including for the purpose of you transmitting that personal data to another data controller (including another investment services firm) ; and
• where our processing is based on your consent, you may withdraw that consent, without affecting the lawfulness of our processing based on consent before its withdrawal.

Note : If you have given your consent and you wish to withdraw it, please contact us using the contact details as set out above. Please note that where our processing of your personal data relies on your consent and where you then withdraw that consent, we may not be able to provide all or some aspects of our services to you and/or it may affect the provision of those services.

If you are not satisfied with how we are processing your personal data, you can raise a concern with the Information Commissioner. You can also find out more about your rights under data protection legislation from the Information Commissioner's Office website available at : www.ico.org.uk.